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The Securities and Exchange Commission today announced Melissa R. Hodgman, currently an Associate Director in the Commission’s Division of Enforcement, has been named Acting Director of the Division of Enforcement. Source: SEC.gov | Melissa Hodgman Named Acting Director of Division of Enforcement
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The Securities and Exchange Commission announced today that President Joseph R. Biden, Jr. has designated Allison Herren Lee as Acting Chair of the agency. Source: SEC.gov | Allison Herren Lee Named Acting Chair of the SEC
How much more aggressive will the SEC be in its approach towards private funds and their managers? That will depend largely on whether Mr. Gensler is confirmed as Chair and who is selected as the next Director of Enforcement, as well as the SEC’s budget and ability to hire additional staff. But regardless, private fund […]
Pamela Parizek has joined Kroll, the risk management subsidiary of consulting firm Duff & Phelps, as a managing director and head of the financial investigations practice in North America. She is based in Washington, DC. In her new role at Kroll, Parizek will oversee a team of experts in forensic accounting, data analytics, and financial […]
The Securities and Exchange Commission today announced that Marc P. Berger, Acting Director of the Division of Enforcement, will conclude his tenure at the agency this month. Mr. Berger joined the Commission as Director of the New York Regional Office in December 2017 and was named Deputy Director of the Division of Enforcement in August […]
President-elect Joe Biden is expected to choose Gary Gensler, a former financial regulator and Goldman Sachs Group Inc. executive, to head the Securities and Exchange Commission, according to people familiar with the decision. Source: Biden Is Expected to Name Gary Gensler for SEC Chairman – WSJ
Congress recently overrode President Trump’s veto of the $740 billion 2021 National Defense Authorization Act (“NDAA”) and signed it into law. While the focus of the NDAA is not on the U.S. Securities and Exchange Commission (“SEC”), the NDAA does include a provision that gives the SEC, for the first time ever, statutory authority to […]
This job is so much more than the individual cases. But, of course, I take great pride in the cases. Every case is important though some stand out. A few are the SEC’s actions against: Tesla and Elon Musk; Theranos and Elizabeth Holmes; General Electric; Facebook; Telegram and Kik; the EDGAR hackers; Wells Fargo; Robinhood; […]
So we have talked about allegations that Senator Richard Burr did something wrong when he dumped stocks after receiving Intelligence Committee briefings about the coronavirus in February. There was a factual dispute about what secret information Burr did or did not receive in those briefings, and about whether or not he traded based on it, […]